- Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (N-Q)
July 14 2011 - 2:08PM
Edgar (US Regulatory)
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
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OMB Number: 3235-0578
Expires: April 30, 2013
Estimated average burden hours per response........5.6
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FORM N-Q
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QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number
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811-21724
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AGIC International & Premium Strategy Fund
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(Exact name of registrant as specified in charter)
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1633 Broadway New York, New York
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10019
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(Address of principal executive offices)
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(Zip code)
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Lawrence G. Altadonna 1633 Broadway New York, New York 10019
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(Name and address of agent for service)
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Registrants telephone number, including area code:
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212-739-3371
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Date of fiscal year end:
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February 29, 2012
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Date of reporting period:
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May 31, 2011
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Form N-Q is to be used by management investment companies, other than small business investment companies registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than 60 days after the close of the first and third fiscal quarters, pursuant to rule 30b1-5 under the Investment Company Act of 1940 (17 CFR 270.30b1-5). The Commission may use the information provided on Form N-Q in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-Q, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-Q unless the Form displays a currently valid Office of Management and Budget (OMB) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-2001. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
Item 1: Schedule of Investments
AGIC International & Premium Strategy Fund Schedule of Investments
May 31, 2011 (unaudited)
Shares
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Value*
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COMMON STOCK96.4%
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Australia6.7%
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Biotechnology3.1%
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123,948
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CSL Ltd.
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$4,489,795
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Commercial Services & Supplies0.6%
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189,217
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Downer EDI Ltd.
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790,701
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Metals & Mining3.0%
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55,687
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BHP Billiton Ltd.
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2,651,850
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18,601
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Newcrest Mining Ltd.
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787,964
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9,801
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Rio Tinto Ltd.
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856,106
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4,295,920
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Belgium1.1%
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Chemicals0.8%
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25,259
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Tessenderlo Chemie NV
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1,111,775
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Oil, Gas & Consumable Fuels0.3%
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27,391
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Euronav NV
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398,589
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China0.2%
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Personal Products0.2%
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465,000
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Ruinian International Ltd.
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326,312
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Denmark0.7%
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Construction & Engineering0.6%
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9,950
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FLSmidth & Co. A/S
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827,240
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Electrical Equipment0.1%
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4,800
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Vestas Wind Systems A/S (b)
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145,214
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Finland1.4%
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Auto Components0.5%
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13,200
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Nokian Renkaat Oyj
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645,205
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Communications Equipment0.9%
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178,126
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Nokia Oyj
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1,240,510
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France6.9%
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Automobiles0.4%
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14,943
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Peugeot S.A. (b)
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635,196
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Commercial Banks1.5%
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27,495
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BNP Paribas
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2,154,377
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Diversified Telecommunication Services1.9%
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118,394
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France Telecom S.A.
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2,711,728
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Electric Utilities0.3%
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9,219
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Electricite de France S.A.
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374,736
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Shares
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Value*
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Electrical Equipment0.9%
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19,616
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Alstom S.A.
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$1,218,503
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Media0.4%
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21,394
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Vivendi S.A.
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599,287
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Oil, Gas & Consumable Fuels1.5%
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36,497
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Total S.A.
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2,108,087
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Germany6.5%
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Automobiles1.0%
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21,187
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Daimler AG
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1,502,647
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Chemicals1.9%
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34,176
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K&S AG
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2,732,453
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Diversified Financial Services0.8%
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15,459
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Deutsche Boerse AG
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1,221,743
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Electric Utilities0.8%
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38,991
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E.ON AG
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1,108,874
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Multi-Utilities0.7%
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16,213
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RWE AG
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946,295
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Pharmaceuticals1.0%
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17,065
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Bayer AG
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1,402,488
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Semiconductors & Semiconductor Equipment0.3%
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11,500
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Aixtron SE
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458,885
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Greece0.1%
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Commercial Banks0.1%
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29,019
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National Bank of Greece S.A. (b)
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201,254
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Hong Kong3.2%
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Airlines0.7%
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425,000
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Cathay Pacific Airways Ltd.
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1,018,494
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Diversified Financial Services0.4%
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734,000
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First Pacific Co., Ltd.
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633,014
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Real Estate Management & Development2.1%
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180,000
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Hang Lung Group Ltd.
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1,169,883
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159,500
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Kerry Properties Ltd.
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814,771
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586,000
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New World Development Ltd.
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999,962
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2,984,616
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Ireland0.0%
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Insurance0.0%
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48,618
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Irish Life & Permanent Group Holdings PLC (b)
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7,347
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Shares
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Value*
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Italy2.4%
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Electric Utilities1.3%
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271,908
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Enel SpA
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$1,871,346
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Oil, Gas & Consumable Fuels1.1%
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66,956
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Eni SpA
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1,605,704
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Japan15.8%
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Auto Components0.4%
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29,200
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Tokai Rika Co., Ltd.
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537,592
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Automobiles1.4%
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48,300
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Toyota Motor Corp.
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2,018,911
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Beverages0.3%
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34,000
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Kirin Holdings Co., Ltd.
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477,322
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Building Products0.7%
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29,500
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Daikin Industries Ltd.
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986,515
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Commercial Banks0.3%
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|
81,900
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Resona Holdings, Inc.
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362,560
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Construction & Engineering0.4%
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64,000
|
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Kinden Corp.
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519,601
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Consumer Finance0.2%
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|
|
|
46,500
|
|
Promise Co., Ltd. (b)
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335,082
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Diversified Telecommunication Services1.6%
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|
48,700
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Nippon Telegraph & Telephone Corp.
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2,291,697
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Electronic Equipment, Instruments & Components0.2%
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27,300
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Mitsumi Electric Co., Ltd.
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298,143
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Leisure Equipment & Products1.7%
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23,000
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Nikon Corp.
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540,459
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36,200
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Sankyo Co., Ltd.
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1,924,421
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2,464,880
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Machinery1.8%
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|
301,000
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|
Hino Motors Ltd.
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1,656,933
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|
36,500
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Shima Seiki Manufacturing Ltd.
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|
991,658
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2,648,591
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|
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Marine2.1%
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|
|
|
133,000
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|
Kawasaki Kisen Kaisha Ltd.
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|
448,536
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|
147,000
|
|
Mitsui OSK Lines Ltd.
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|
788,249
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|
450,000
|
|
Nippon Yusen KK
|
|
1,701,432
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|
|
|
|
|
2,938,217
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|
Shares
|
|
|
|
Value*
|
|
Multiline Retail0.2%
|
|
|
|
88,500
|
|
Daiei, Inc. (b)
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|
$315,474
|
|
|
|
|
|
Pharmaceuticals0.6%
|
|
|
|
11,200
|
|
Astellas Pharma, Inc.
|
|
427,112
|
|
19,700
|
|
Daiichi Sankyo Co., Ltd.
|
|
382,346
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|
|
|
|
|
809,458
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|
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|
|
|
Road & Rail0.4%
|
|
|
|
8,600
|
|
East Japan Railway Co.
|
|
501,925
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|
|
|
|
|
Software0.2%
|
|
|
|
1,300
|
|
Nintendo Co., Ltd.
|
|
302,253
|
|
|
|
|
|
Tobacco0.2%
|
|
|
|
81
|
|
Japan Tobacco, Inc.
|
|
313,505
|
|
|
|
|
|
Trading Companies & Distributors2.1%
|
|
|
|
545,900
|
|
Sojitz Corp.
|
|
1,020,405
|
|
153,300
|
|
Sumitomo Corp.
|
|
2,052,577
|
|
|
|
|
|
3,072,982
|
|
|
|
|
|
Wireless Telecommunication Services1.0%
|
|
|
|
119
|
|
KDDI Corp.
|
|
853,467
|
|
282
|
|
NTT DoCoMo, Inc.
|
|
525,374
|
|
|
|
|
|
1,378,841
|
|
|
|
|
|
Norway5.1%
|
|
|
|
Chemicals2.7%
|
|
|
|
63,200
|
|
Yara International ASA
|
|
3,810,648
|
|
|
|
|
|
Commercial Banks2.4%
|
|
|
|
232,600
|
|
DnB NOR ASA
|
|
3,509,190
|
|
|
|
|
|
Singapore0.8%
|
|
|
|
Airlines0.8%
|
|
|
|
99,000
|
|
Singapore Airlines Ltd.
|
|
1,137,090
|
|
|
|
|
|
Spain7.6%
|
|
|
|
Commercial Banks2.1%
|
|
|
|
260,361
|
|
Banco Santander S.A.
|
|
3,103,001
|
|
|
|
|
|
Construction & Engineering0.2%
|
|
|
|
5,517
|
|
ACS Actividades Construcciones y Servicios S.A.
|
|
265,344
|
|
|
|
|
|
Diversified Telecommunication Services3.7%
|
|
|
|
216,087
|
|
Telefonica S.A.
|
|
5,254,835
|
|
Shares
|
|
|
|
Value*
|
|
Electric Utilities1.0%
|
|
|
|
162,409
|
|
Iberdrola S.A.
|
|
$1,440,906
|
|
|
|
|
|
Insurance0.6%
|
|
|
|
226,669
|
|
Mapfre S.A.
|
|
872,271
|
|
|
|
|
|
Sweden1.6%
|
|
|
|
Commercial Banks0.8%
|
|
|
|
95,400
|
|
Nordea Bank AB
|
|
1,120,881
|
|
|
|
|
|
Personal Products0.8%
|
|
|
|
20,850
|
|
Oriflame Cosmetics S.A. SDR
|
|
1,111,530
|
|
|
|
|
|
Switzerland8.1%
|
|
|
|
Chemicals0.9%
|
|
|
|
3,892
|
|
Syngenta AG (b)
|
|
1,345,315
|
|
|
|
|
|
Electrical Equipment1.9%
|
|
|
|
101,818
|
|
ABB Ltd. (b)
|
|
2,737,579
|
|
|
|
|
|
Food Products0.4%
|
|
|
|
8,413
|
|
Nestle S.A.
|
|
540,885
|
|
|
|
|
|
Insurance2.7%
|
|
|
|
14,565
|
|
Zurich Financial Services AG (b)
|
|
3,902,037
|
|
|
|
|
|
Pharmaceuticals1.6%
|
|
|
|
12,695
|
|
Roche Holdings AG
|
|
2,235,233
|
|
|
|
|
|
Textiles, Apparel & Luxury Goods0.6%
|
|
|
|
1,640
|
|
Swatch Group AG
|
|
817,595
|
|
|
|
|
|
United Kingdom27.1%
|
|
|
|
Aerospace & Defense0.2%
|
|
|
|
56,269
|
|
BAE Systems PLC
|
|
306,393
|
|
|
|
|
|
Beverages1.9%
|
|
|
|
130,071
|
|
Diageo PLC
|
|
2,772,317
|
|
|
|
|
|
Capital Markets0.3%
|
|
|
|
53,500
|
|
ICAP PLC
|
|
427,021
|
|
|
|
|
|
Commercial Banks2.0%
|
|
|
|
98,123
|
|
Barclays PLC
|
|
448,461
|
|
133,443
|
|
Royal Bank of Scotland Group PLC (b)
|
|
93,879
|
|
88,325
|
|
Standard Chartered PLC
|
|
2,371,389
|
|
|
|
|
|
2,913,729
|
|
|
|
|
|
Food & Staples Retailing1.6%
|
|
|
|
462,495
|
|
WM Morrison Supermarkets PLC
|
|
2,313,828
|
|
Shares
|
|
|
|
Value*
|
|
Food Products2.9%
|
|
|
|
127,149
|
|
Unilever PLC
|
|
$4,127,548
|
|
|
|
|
|
Industrial Conglomerates0.1%
|
|
|
|
17,062
|
|
Cookson Group PLC
|
|
193,484
|
|
|
|
|
|
Insurance1.6%
|
|
|
|
760,522
|
|
Old Mutual PLC
|
|
1,646,798
|
|
227,246
|
|
Standard Life PLC
|
|
786,894
|
|
|
|
2,433,692
|
|
|
|
|
|
Machinery0.8%
|
|
|
|
84,128
|
|
Charter International PLC
|
|
1,081,775
|
|
|
|
|
|
Metals & Mining4.1%
|
|
|
|
32,097
|
|
Anglo American PLC
|
|
1,607,073
|
|
67,080
|
|
BHP Billiton PLC
|
|
2,660,182
|
|
22,080
|
|
Rio Tinto PLC
|
|
1,538,584
|
|
|
|
|
|
5,805,839
|
|
|
|
|
|
Oil, Gas & Consumable Fuels6.2%
|
|
|
|
302,677
|
|
BP PLC
|
|
2,330,657
|
|
|
|
Royal Dutch Shell PLC,
|
|
|
|
76,148
|
|
Class A
|
|
2,753,385
|
|
103,690
|
|
Class B
|
|
3,742,683
|
|
|
|
|
|
8,826,725
|
|
|
|
|
|
Pharmaceuticals0.4%
|
|
|
|
25,592
|
|
GlaxoSmithKline PLC
|
|
556,396
|
|
|
|
|
|
Road & Rail0.9%
|
|
|
|
331,510
|
|
Stagecoach Group PLC
|
|
1,297,446
|
|
|
|
|
|
Tobacco2.2%
|
|
|
|
48,408
|
|
British American Tobacco PLC
|
|
2,172,144
|
|
27,934
|
|
Imperial Tobacco Group PLC
|
|
1,002,032
|
|
|
|
|
|
3,174,176
|
|
|
|
|
|
Wireless Telecommunication Services3.0%
|
|
|
|
1,536,950
|
|
Vodafone Group PLC
|
|
4,273,628
|
|
|
|
Total Common Stock (cost$207,179,786)
|
|
138,050,221
|
|
|
|
|
|
PREFERRED STOCK0.4%
|
|
|
|
Germany0.4%
|
|
|
|
Media0.4%
|
|
|
|
23,486
|
|
ProSiebenSat.1 Media AG (cost$782,459)
|
|
610,026
|
|
Principal
|
|
|
|
|
|
Amount
|
|
|
|
|
|
(000s)
|
|
|
|
Value*
|
|
Repurchase Agreement2.7%
|
|
|
|
$3,836
|
|
State Street Bank & Trust Co., dated 5/31/11, 0.01%, due 6/1/11, proceeds $3,836,001; collateralized by Freddie Mac, 6.75%, due 3/15/31, valued at $3,914,600 including accrued interest (cost$3,836,000)
|
|
$3,836,000
|
|
|
|
|
|
|
|
|
|
Total Investments
(cost$211,798,245) (a)(c)
99.5
%
|
|
142,496,247
|
|
|
|
Other assets less liabilities0.5%
|
|
733,235
|
|
|
|
Net Assets100%
|
|
$143,229,482
|
|
Notes to Schedule of Investments:
*
|
Portfolio securities and other financial instruments for which market quotations are readily available are stated at market value. Market value is generally determined on the basis of last reported sales prices, or if no sales are reported, on the basis of quotes obtained from a quotation reporting system, established market makers, or independent pricing services.
|
|
|
|
Portfolio securities and other financial instruments for which market quotations are not readily available or for which a development/event occurs that may significantly impact the value of a security, are fair-valued, in good faith, pursuant to procedures established by the Board of Trustees, or persons acting at their discretion pursuant to procedures established by the Board of Trustees. The Funds investments are valued daily using prices supplied by an independent pricing service or dealer quotations, or by using the last sale price on the exchange that is the primary market for such securities, or the mean between the last quoted bid and ask price. Independent pricing services use information provided by market makers or estimates of market values obtained from yield data relating to investments or securities with similar characteristics. Short term securities maturing in 60 days or less are valued at amortized cost, if their original term to maturity was 60 days or less, or by amortizing their value on the 61st day prior to maturity, if the original term to maturity exceeded 60 days. Investments initially valued in currencies other than U.S. dollar are converted to the U.S. dollar using exchange rates obtained from pricing services. As a result, the net asset value (NAV) of the Funds shares may be affected by changes in the value of currencies in relation to the U.S. dollar. The value of securities traded in markets outside the United States or denominated in currencies other than the U.S. dollar may be affected significantly on a day that the New York Stock Exchange (NYSE) is closed.
|
|
|
|
The prices used by the Fund to value securities may differ from the value that would be realized if the securities were sold and these differences could be material. The Funds NAV is normally determined as of the close of regular trading (normally, 4:00 p.m. Eastern time) on the NYSE on each day the NYSE is open for business.
|
|
|
|
The prices of certain portfolio securities or other financial instruments may be determined at a time prior to the close of regular trading on the NYSE. When fair valuing securities, the Fund may, among other things, consider significant events (which may be considered to include changes in the value of U.S. securities or securities indices) that occur after the close of the relevant market and before the time the Funds NAV is calculated. With respect to certain foreign securities, the Fund may fair-value securities using modeling tools provided by third-party vendors. The Fund has retained a statistical research service to assist in determining the fair value of foreign securities. This service utilizes statistics and programs based on historical performance of markets and other economic data to assist in making fair value estimates. Fair value estimates used by the Fund for foreign securities may differ from the value realized from the sale of those securities and the difference could be material. Fair value pricing may require subjective determinations about the value of a security or other assets, and fair values used to determine the Funds NAV may differ from quoted or published prices, or from prices that are used by others, for the same investments. In addition, the use of fair value pricing may not always result in adjustments to the prices of securities or other assets held by the Fund.
|
|
|
(a)
|
Securities with an aggregate value of $138,652,900, representing 96.8% of net assets, were valued utilizing modeling tools provided by a third-party vendor.
|
|
|
(b)
|
Non-income producing.
|
|
|
(c)
|
At May 31, 2011, the cost basis of portfolio securities for federal income tax purposes was $211,947,352. Gross unrealized appreciation was $66,228 , gross unrealized depreciation was $69,517,333; and net unrealized depreciation was $69,451,105.
|
|
|
|
The difference between book and tax cost basis was attributable to wash sales.
|
Glossary:
SDRSwedish Depositary Receipt
Fair Value Measurements
Fair value is defined as the price that would be received to sell an asset or paid to transfer a liability (i.e. the exit price) in an orderly transaction between market participants. The three levels of the fair value hierarchy are described below:
·
Level 1 quoted prices in active markets for identical investments that the Fund has the ability to access
·
Level 2 valuations based on other significant observable inputs (including quoted prices for similar investments, interest rates, prepayment speeds, credit risk, etc.) or quotes from inactive exchanges
·
Level 3 valuations based on significant unobservable inputs (including the Funds own assumptions in determining the fair value of investments)
An investment assets or liabilitys level within the fair value hierarchy is based on the lowest level input, individually or in the aggregate, that is significant to fair value measurement. The objective of fair value measurement remains the same even when there is a significant decrease in the volume and level of activity for an asset or liability and regardless of the valuation technique used.
The valuation techniques used by the Fund to measure fair value during the three months ended May 31, 2011 maximized the use of observable inputs and minimized the use of unobservable inputs. When fair-valuing securities, the Fund utilized the estimation of the price that would have prevailed in a liquid market for international equities given information available at the time of the evaluation.
The inputs or methodology used for valuing securities are not necessarily an indication of the risk associated with investing in those securities. The following are certain inputs and techniques that the Fund generally uses to evaluate how to classify each major category of assets and liabilities for Level 2 and Level 3, in accordance with Generally Accepted Accounting Principles.
Equity Securities (Common and Preferred Stock)
Equity securities traded in inactive markets and certain foreign equity securities are valued using inputs which include broker-dealer quotes, recently executed transactions adjusted for changes in the benchmark index, or evaluated price quotes received from independent pricing services that take into account the integrity of the market sector and issuer, the individual characteristics of the security, and information received from broker-dealers and other market sources pertaining to the issuer or security. To the extent that these inputs are observable, the values of equity securities are categorized as Level 2. To the extent that these inputs are unobservable, the values are categorized as Level 3.
The Funds policy is to recognize transfers between levels at the end of the reporting period.
A summary of the inputs used at May 31, 2011 in valuing the Funds assets and liabilities is listed below:
|
|
|
|
Level 2 -
|
|
Level 3 -
|
|
|
|
|
|
|
|
Other Significant
|
|
Significant
|
|
|
|
|
|
Level 1 -
|
|
Observable
|
|
Unobservable
|
|
Value at
|
|
|
|
Quoted Prices
|
|
Inputs
|
|
Inputs
|
|
5/31/11
|
|
Investments in Securities - Assets
|
|
|
|
|
|
|
|
|
|
Common Stock:
|
|
|
|
|
|
|
|
|
|
Ireland
|
|
$7,347
|
|
|
|
|
|
$7,347
|
|
All Other
|
|
|
|
$138,042,874
|
|
|
|
138,042,874
|
|
Preferred Stock
|
|
|
|
610,026
|
|
|
|
610,026
|
|
Repurchase Agreement
|
|
|
|
3,836,000
|
|
|
|
3,836,000
|
|
Total Investments
|
|
$7,347
|
|
$142,488,900
|
|
|
|
$142,496,247
|
|
There were no significant transfers between Levels 1 and 2 during the three months ended May 31, 2011.
A roll forward of fair value measurements using significant unobservable inputs (Level 3) for the three months ended May 31, 2011, was as follows:
|
|
|
|
|
|
|
|
|
|
|
|
Net Change
|
|
|
|
|
|
|
|
|
|
Beginning
|
|
|
|
|
|
Accrued
|
|
Net
|
|
in Unrealized
|
|
Transfers
|
|
Transfers
|
|
Ending
|
|
|
|
Balance
|
|
|
|
|
|
Discounts
|
|
Realized
|
|
Appreciation/
|
|
into
|
|
out of
|
|
Balance
|
|
|
|
2/28/11
|
|
Purchases
|
|
Sales
|
|
(Premiums)
|
|
Gain (Loss)
|
|
Depreciation
|
|
Level 3
|
|
Level 3*
|
|
5/31/11
|
|
Investments in Securities - Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stock:
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Australia
|
|
$10,384,547
|
|
$3,671,822
|
|
$(4,636,363
|
)
|
|
|
$223,338
|
|
$(66,928
|
)
|
|
|
$(9,576,416
|
)
|
|
|
Total Investments
|
|
$10,384,547
|
|
$3,671,822
|
|
$(4,636,363
|
)
|
|
|
$223,338
|
|
$(66,928
|
)
|
|
|
$(9,576,416
|
)
|
|
|
*Transferred out of Level 3 and into Level 2 because sufficient observable inputs were available.
Item 2. Controls and Procedures
(a) The registrants President & Chief Executive Officer and Treasurer, Principal Financial & Accounting Officer have concluded that the registrants disclosure controls and procedures (as defined in Rule 30a-3(c) under the Act (17 CFR 270.30a-3(c))), are effective based on their evaluation of these controls and procedures as of a date within 90 days of the filing date of this document.
(b) There were no significant changes in the registrants internal controls over financial reporting (as defined in Rule 30a-3(d) under the Act (17 CFR 270.30a-3(d))) that occurred during the registrants last fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrants internal control over financial reporting.
Item 3. Exhibits
(a) Exhibit 99.302 Cert. Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Registrant: AGIC International & Premium Strategy Fund
|
|
|
|
|
By
|
/s/ Brian S. Shlissel
|
|
|
President & Chief Executive Officer
|
|
|
|
|
Date: July 14, 2011
|
|
|
|
|
By
|
/s/ Lawrence G. Altadonna
|
|
|
Treasurer, Principal Financial & Accounting Officer
|
|
|
|
|
Date: July 14, 2011
|
|
|
|
|
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
|
|
|
|
By
|
/s/ Brian S. Shlissel
|
|
|
President & Chief Executive Officer
|
|
|
|
|
Date: July 14, 2011
|
|
|
|
|
By
|
/s/ Lawrence G. Altadonna
|
|
|
Treasurer, Principal Financial & Accounting Officer
|
|
|
|
|
Date: July 14, 2011
|
|
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